Equity Acquisition Company Ltd. et al: $3.9M Penalties (USA)

Administrative Order by the U.S. Securities and Exchange Commission imposing disgorgement and penalties totaling $3.9 million on Equity Acquisition Company Ltd., described as “a trust organized under the laws of Bermuda”, and Carsten Klein, described as “a citizen of Germany and lawful permanent resident of the United States residing in Parkland, Florida” to settle allegations of unregistered activity.

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Pages: 6

Date: March 03, 2023

Defendant(s)/Respondent(s): Equity Acquisition Company Ltd., Carsten Klein

Plaintiff(s)/Applicant(s): Securities and Exchange Commission

Case Number: Xx Xx Xx

Topic: Investment, Regulatory

Allegation: Unlicensed/Unregistered

Topics

Unlicensed/Unregistered

[ 1 more... ] [ top 5 ]

Keywords

Carsten Klein Church Bay Trust Equity Acquisition Company

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